0000950170-24-061649.txt : 20240517
0000950170-24-061649.hdr.sgml : 20240517
20240517161251
ACCESSION NUMBER: 0000950170-24-061649
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240515
FILED AS OF DATE: 20240517
DATE AS OF CHANGE: 20240517
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WHITMORE R JANET
CENTRAL INDEX KEY: 0001173970
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22333
FILM NUMBER: 24959804
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp
CENTRAL INDEX KEY: 0000883107
STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844]
ORGANIZATION NAME: 08 Industrial Applications and Services
IRS NUMBER: 363687863
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1319 MARQUETTE DRIVE
CITY: ROMEOVILLE
STATE: IL
ZIP: 60446
BUSINESS PHONE: 6303231200
MAIL ADDRESS:
STREET 1: 1319 MARQUETTE DRIVE
CITY: ROMEOVILLE
STATE: IL
ZIP: 60446
FORMER COMPANY:
FORMER CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION
DATE OF NAME CHANGE: 19970305
4
1
ownership.xml
4
X0508
4
2024-05-15
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001173970
WHITMORE R JANET
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
true
false
false
false
false
Common Stock
2024-05-15
4
P
false
1663
1.37
A
1652275
D
Common Stock
2024-05-16
4
P
false
6900
1.335
A
1659175
D
Deferred Common Stock
Common Stock
20030
20030
D
Common Stock (right to purchase)
0.9
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.05
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.18
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
0.84
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.85
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.10
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
0.99
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
0.68
2018-02-21
2027-02-21
Common Stock
10000
10000
D
Common Stock (right to purchase)
0.82
2019-05-23
2028-05-23
Common Stock
10000
10000
D
Common Stock (right to purchase)
0.45
2021-06-18
2027-06-18
Common Stock
6667
6667
D
Common Stock (right to purchase)
4.17
2022-12-28
2028-12-28
Common Stock
20000
20000
D
Common Stock (right to purchase)
1.165
2023-12-20
2029-12-20
Common Stock
20000
20000
D
Common Stock (right to purchase)
0.61
2024-12-27
2030-12-27
Common Stock
12600
12600
D
These shares were accumulated through four smaller trades.
This price represents the average price of the four combined trades on this day.
These shares were accumulated through eleven smaller trades.
This price represents the average price of the feleven combined trades on this day.
Each share of deferred common stock represents the right to receive one share of common stock.
The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensaion Plan.
The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued at identical exercise prices to the conversion prices of the respective stock appreciation rights. Two-thousand shares were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85. 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99.
Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
/s/ Jess Jankowski under UPA for R. Janet Whitmore
2024-05-17